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The research aims to assess the sustainability of rural electrification efforts based on off-grid photovoltaic (PV) systems in three Andean countries: Chile, Ecuador, and Peru. Although deployment of off-grid PV solutions for rural electrification began in the early 1990s in the Andean region, most of the projects turned out to be unsustainable and did not last. Prior efforts have addressed the different issues and barriers that plagued these projects and inhibited their sustainability. However, these prior analyses were mostly quantitative; systematic qualitative evaluations have been scarce. In this thesis, the researcher addresses the following research question: "Are the rural electrification programs (based on off-grid PV Systems) in the Andean countries sustainable?" In order to answer this research question, he conducted an exhaustive qualitative document analysis complemented by semi-structured expert interviews. The interviewees included experts from different ministries, project managers from leading Non-Governmental Organizations (NGOs), public and private companies ' representatives, supervisors, and researchers. Although the author also describes several relevant PV-based electrification efforts in the Andean countries, the research was aimed at providing an overall picture of the rural electrification efforts in these countries, rather than measuring the success or failure of specific projects. The gathered information allowed me to assess the sustainability of rural electrification efforts in the Andean countries. This assessment was based on a set of indicators corresponding to the four dimensions of sustainability considered in this thesis: institutional, economical, environmental, and socio-cultural. It was found that Ecuador and Chile have consistently failed to ensure mechanisms for the operation and maintenance of the deployed off-grid systems, which has made these solutions in poor Chilean and Ecuadorian communities inevitably unsustainable. Although Peru has adopted a cross-tariff scheme, the Peruvian case shows that ensuring the funding of off-grid PV solutions is not enough. Peruvian officials appear to be unaware of the importance of local participation (local values and lifestyles are constantly disregarded) and most of the projects have been designed without the participation and engagement of the communities, which has often led to project failures and payment defaults. Although each country has its particular challenges, it was found that the three Andean countries have consistently neglected the importance of strong formal institutions with a flexible and decentralized structure, which in turn significantly compromised the rural electrification effort in these countries.
The dissertation consists of three scientific papers and a synopsis. The synopsis addresses the relevance of the dissertation and lists the key factors for the sustainability transition in the electricity system as a common denominator of the three papers.
The relevance of the dissertation results, on the one hand, from the urgency of the sustainability transition in the electricity system and an insufficient transition willingness of the eastern European Member States. On the other hand, the Multi-Level-Perspective as one of the most important scientific frameworks to grasp transitions does not provide a sufficient explanation of its mechanisms. Moreover, Demand Response aggregators as new enterprises on the European electricity market and potential reform initiators are still under researched. The following key factors for the sustainability transition of the electricity system have been identified: supply security concerns, Europeanisation, policy making and the dominance of short-term oriented economic evaluation.
Paper 1
The underlying factors in the uptake of electricity demand response: The case of Poland
Author: Katarzyna Ewa Rollert
Published: Utilities Policy, Volume 54, October 2018, 11-21, https://doi.org/10.1016/j.jup.2018.07.002
Demand response (DR) is considered crucial for a more reliable, sustainable, and efficient electricity system. Nevertheless, DR’s potential still remains largely untapped in Europe. This study sheds light on the roots of this problem in the context of Poland. It suggests that unfavorable regulation is symptomatic of the real, underlying barriers. In Poland, these barriers are coal dependence and political influence on energy enterprises. As main drivers, supply security concerns, EU regulatory pressure, and a positive cost-benefit profile of DR in comparison to alternatives, are revealed. A conceptual model of DR uptake in electricity systems is proposed.
Paper 2
Gaining legitimacy for sustainability transition: A social mechanisms approach
Authors: Ursula Weisenfeld and Katarzyna Ewa Rollert
Review and re-submit: Environmental Innovation and Societal Transitions / August 2021
Applying a social mechanisms approach to the Multi-Level Perspective, we conceptualize mechanisms of socio-technical transitions and of gaining legitimacy for transitions as co-evolutionary drivers and outcomes. Situational, action-formational, and transformational mechanisms that operate as drivers of change in a socio-technical transition require corresponding framing and framing contests to achieve legitimacy for that transition. We illustrate our conceptual insight with the case of the coal dependent Polish electricity system.
Paper 3
Demand response aggregators as institutional entrepreneurs in the European electricity market
Author: Katarzyna Ewa Rollert
Under review: Journal of Cleaner Production / August 2021
Demand Response (DR) aggregators act as intermediaries between electricity customers and network operators to tap the potential of the demand-based flexibility. This qualitative study reveals DR aggregators as institutional entrepreneurs that struggle to reform the still largely supply-oriented European electricity market. Unfavourable regulation, low value of flexibility, resource constraints, complexity, and customer acquisition are the key challenges DR aggregators face. To overcome them they apply a combination of strategies: lobbying, market education, technological proficiency, and upscaling the business. The study highlights DR aggregation as an architectural innovation that alters the interplay between key actors of the electricity system and provides policy recommendations including the necessity to assess the real value of DR in comparison to other flexibility sources by taking all externalities into account, a technology-neutral approach to market design and the need for simplification of DR programmes, and common standards to reduce complexity and uncertainty for DR providers.
Consisting of three articles and a framework manuscript, this cumulative dissertation deals with sustainable compensation of chief executive officer (CEO) with a focus on climate-related aspects. Against the backdrop of the European action for sustainability and the EU Green Deal, the dissertation pays special attention to the consideration of climate-related aspects of corporate performance in CEO compensation. In this context, sustainable compensation is characterized by the consideration of long-term interests and sustainability of the company as well as by the inclusion of financial and non-financial aspects of environmental, social and governance performance (ESG) in compensation agreements. While this novel instrument of corporate governance aims to incentivize the implementation of sustainability-oriented corporate strategy, it is particularly important to unfold this incentive effect at the individual CEO level in view of their managerial discretion. The framework manuscript discusses the research objectives, the regulatory and theoretical background, the results of the dissertation and their implications in the context of regulation, research, and business practice. The essence of the dissertation are the three articles. The first article, "Determinants and effects of sustainable CEO compensation: a structured literature review of empirical evidence," examines the current state of empirical research based on 37 articles that were published between 1992 and 2018. Based on a multidimensional research framework, the structured literature review compiles past research findings, identifies contentual and methodological foci in the research area, and derives questions for future research. The second article, "Mapping the determinants of carbon-related CEO compensation: a multidimensional approach," addresses the topic from a conceptual perspective. Taking the existing work as a starting point, a conceptual framework is derived, which organizes the determinants of carbon-related CEO compensation at societal, organizational, group and individual levels of analysis. On this basis, eight propositions are presented that seek to distinguish between the determinants which support and challenge the implementation of carbon-related CEO compensation. The third article, "Climate change policies and carbon-related CEO compensation systems: an exploratory study of European companies," focuses on the use of CO2-oriented performance indicators in CEO compensation. The empirical-qualitative study analyzes corporate disclosure of the 65 largest companies in the EU for the years 2018 and 2019. The study addresses the use of CO2-oriented performance indicators in corporate strategy and CEO compensation. It also examines which compensation components are determined with the help of CO2-oriented performance indicators, which type of performance indicators are used, and whether CO2-intensive and less CO2-intensive companies differ in this regard.
The process perspective provides a unifying framework that has substantially contributed to our understanding of entrepreneurship. However, much of the research up to now has neglected this process oriented conception of entrepreneurship. There is therefore a need for studies that take the inherent dynamic processes into account and analyze the underlying mechanisms when researching entrepreneurship. This dissertation aims to improve our understanding of the entrepreneurial process. Specifically, this dissertation focuses on new venture creation and the processes of sustainable opportunity identification and opportunity deviation. Chapter 1 provides a general introduction that highlights the theoretical contributions of this dissertation and gives an overview over the conducted studies. Chapter 2 argues for a process model of entrepreneurship that places entrepreneurs and their actions center stage. The model combines different perspectives and levels of analysis and provides an integrative framework for researching new venture creation. In chapter 3 we establish and test a theoretical model of sustainable opportunity identification. The chapter explains how younger generations identify sustainable opportunities. The findings indicate that sustainable opportunity identification is a process with two transitions from problem to solution identification and from solution identification to sustainable opportunity identification. These transitions are contingent on awareness of consequences and entrepreneurial attitude. Chapter 4 offers insights into how deviation from the original opportunity increases the performance of entrepreneurial teams. The findings indicate that entrepreneurial teams with a high level of error orientation set themselves higher goals when deviating from their original opportunity. Higher goals then lead to higher team performance. Chapter 5 summarizes the overall findings and outlines the general theoretical and practical implications. Each chapter thus contributes to the process perspective by focusing on how different phases of the entrepreneurial process unfold and develop over time. Thereby, this dissertation advances our understanding of entrepreneurship as a process.
Climate change presents a major sustainability challenge to coastal social-ecological systems (SES). The integration of climate change adaptation into processes or structures for coastal governance, however, has been described as challenging. Resilience presents a suitable concept to approach this problem, as it facilitates bridging between the natural and social sciences, as well as between science and policy in an inter- and trans-disciplinary approach. The Intergovernmental Panel on Climate Change also makes use of the concept of resilience and confirms that recent literature increasingly suggests that transformative changes in SES are required to enhance their resilience to climate change. Yet, knowledge gaps still exist on how to enable effective coastal governance to enhance the climate resilience of coastal SES. To address this problem, the importance of actionable knowledge is growing in climate change adaptation, environmental governance, and broader sustainability research. Actionable knowledge refers to knowledge that contributes to solving societal problems and points to actions and processes of change. One way of generating actionable knowledge is the co-production of knowledge with societal stakeholders. Yet, knowledge gaps exist in what methods and approaches may contribute to generating actionable knowledge and what obstacles to knowledge co-production exist especially for early-career researchers (ECRs).
This dissertation contributes to research on generating actionable knowledge for coastal governance to enhance the resilience of coastal SES to climate change. It does this by providing theoretical, methodological and empirical insights on three research questions (RQs), laid out in Chapter I. These are: 1) what is a more actionable concept for applying the concept of resilience in coastal governance?; 2) what methods and approaches are suitable to generate actionable knowledge for coastal governance?; and 3) what obstacles to knowledge co-production exist for ECRs and how can they be overcome? The RQs are addressed in five publications, each presenting one chapter of this dissertation. For answering RQ1, Chapter II applies a research synthesis to bring together common themes and challenges documented in resilience, climate change and environmental governance literature. For answering RQ2, in Chapter III-V different methods and approaches for generating actionable knowledge are proposed and tested using a case-study in the SES of Algoa Bay, South Africa. These include i) the analysis of stakeholder agency as an indicator of the ability of stakeholders to act in governance processes; ii) the application of a stakeholder analysis to gain an improved understanding of the current degree of knowledge exchange for climate change adaptation; and iii) the combination of a capital approach framework, and fuzzy cognitive mapping, which shed light on the governance performance for climate change adaptation and on leverage points that can enhance climate resilience. Finally, for answering RQ3, Chapter VI provides a perspective on the obstacles that especially ECRs face, and actions that are needed to create the conditions under which knowledge co-production processes can be successful. This is done by applying a multi-method approach combining an online survey and workshop targeted at ECRs in the marine sciences.
Key findings suggest that system and transformative knowledge are particularly important when applying the concept of resilience in coastal governance to generate actionable knowledge. The different methods and approaches that are proposed and tested contribute to generating both system and transformative knowledge. Firstly, they provide an overview of the capacities of different stakeholders to act, shed light on current collaboration and knowledge exchange, and enable the identification of different governance processes for coastal governance and climate change adaptation (system knowledge). Secondly, results have implications for how to improve knowledge exchange and identify leverage points that can enhance overall governance performance, thus providing recommendations on actions and processes that can enhance climate resilience in the case-study area (transformative knowledge). It is also highlighted how knowledge co-production can contribute to generating system and transformative knowledge together with stakeholders, and what actions are needed to build the capacities to translate knowledge into action. Additionally, the findings of this dissertation put forward actions that are needed at different organisational levels of the academic system to facilitate knowledge co-production processes with stakeholders involved in coastal governance.
The results of this dissertation have implications for stakeholders and decision-making in the case-study area, as well as for environmental governance, climate change adaptation and broader sustainability research. Implications for stakeholders include recommendations for implementing formal commitments to share climate information across levels and sectors, establishing the role of information providers in the municipality, and reinforcing human capital within the local municipality in Algoa Bay. It also requires more support from the provincial government, such as addressing funding issues, offering training focusing on stakeholders with lower agency and capacities, and improving the overall availability and accessibility of climate information, as well as the priority given to climate change in the Integrated Development Plan. Findings also suggest the need for a more integrated approach to climate change adaptation in coastal planning and management frameworks. It also suggests that the conservation of environmental assets presents an important bottleneck for resilience management and needs to be further prioritised within decision-making. Implications for research include the applicability of methods beyond the context of this dissertation; a more actionable concept for approaching resilience in (coastal) governance systems that can be applied for achieving broader sustainability goals; and a more critical reflection on how transformative research is conducted, and what academic foundation is needed so that it can fulfil its societal goal.
Future research may include a combination of the methods applied in this dissertation; qualitative applications of the stakeholder network analysis; and an application of the proposed approach to other case-studies using real-world laboratories. Overall, this dissertation provides theoretical, methodological, and empirical implications and insights into pressing SES problems. It also contributes to advancing the field of transformative research for more societally relevant outcomes in face of climate change and broader sustainability challenges
System- und handlungstheoretische Überlegungen zur Führung von kleinen und mittleren Unternehmen
(2005)
Abstract Es ist ein verbreitetes Vorurteil, dass kleinere Unternehmen weniger gut geführt werden als größere Unternehmen. Empirische Unterstützung erfährt diese Auffassung durch Erhebungen, die zeigen, dass kleinere Unternehmen das vorhandene betriebswirtschaftliche Instrumentarium nicht in gleichem Umfang nutzen wie größere Unternehmen. Der vorliegende Beitrag zeigt, dass dieser Tatbestand nichts über die Qualität der Unternehmensführung aussagt. Die Unternehmensgröße schafft zwar unterschiedliche Handlungsvoraussetzungen. Die Fähigkeit effiziente Handlungsstrukturen zu entwickeln bleibt davon jedoch unberührt.
Der massive Ausbau der Photovoltaik (PV) stellt das deutsche Stromversorgungssystem vor Herausforderungen. Es gilt, die Stromerzeugung aus PV dem Bedarf anzupassen, Netzüberlastungen durch Solarstrom zu verhindern und den Strom in den Markt zu integrieren. Diese Arbeit untersucht, inwiefern dezentrale Stromspeicher als Lö-sungsansatz zur Bewältigung dieser Herausforderungen geeignet sind und inwieweit der derzeitige Rechtsrah-men diesen Ansatz fördert. Es zeigt sich, dass dezentrale Speicher einen Beitrag zur System- und Marktintegrati-on der PV leisten könnten, die rechtliche Förderung aber unzureichend ist, um dieses Potential auszuschöpfen.
Systemanalyse für Softwaresysteme ist ein Manuskript zum Selbststudium und zur Begleitung von Lehrveranstaltungen. Es vermittelt eine Einführung in die Systemanalyse in diesem Informatik-Kontext. Systemanalyse wird dargestellt als ein zielorientiertes Vorgehen mit vielfältigen Konkretisierungs- und Abstraktionsaktivitäten. Die Vorgehensweise wird anhand von Beispielen erläutert.